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1 500926 A38552 1 AIDS HELPLINE: 0800-0123-22 Prevention is the cureGovernment GazetteStaatskoerantREPUBLIC OF SOUTH AFRICAREPUBLIEK VAN SUID-AFRIKAVol. 597 Pretoria, 11 MarchMaart2015No. The Government Printing Works willnot be held responsible for the quality of Hard Copies or Electronic Files submitted for publication purposesThis Gazette is also available free online at 38552 Government Gazette , 11 MARCH 2015 IMPORTANT NOTICEThe Government Printing Works will not be held responsible for faxed documents not received dueto errors on the fax machine or faxes received which are unclear or incomplete. Please be advisedthat an OK slip, received from a fax machine, will not be accepted as proof that documents werereceived by the GPW for printing. If documents are faxed to the GPW it will be the sender s respon-sibility to phone and confirm that the documents were received in good the Government Printing Works will also not be held responsible for cancellations andamendments which have not been done on original documents received from INHOUDGOVERNMENT NOTICEH igher Education and Training, Department ofGovernment Notice188 research Outputs policy , 2015: research Outputs OUTPUTS policy , 2015I, Bonginkosi Emmanuel Nzimande, Minister of Higher Education and Training,hereby publish the research Outputs policy (2015) for implementation from1 January 2016.

2 The research Outputs policy (2015)replaces the policy forMeasurement of research Outputs of Public Higher Education Institutions (2003).The policy is available on the website of the Department of Higher Education andTraining, , and may also be obtained by contacting the UniversityPolicy and Development Support Directorate on 012 312 BE Nzimande, MPMinister of Higher Education and Trainingtit 291 SGOVERNMENTNOTICEDEPARTMENT OF HIGHER EDUCATION AND TRAININGNo. 18811 March 2015 This Gazette is also available free online at , 11 MAART 2015No. 385523higher educationedu cationtrainingDepartment:Higher Education and TrainingREPUBLIC OF SOUTH AFRICARESEARCH OUTPUTS POLICY2015 This Gazette is also available free online at 38552 Government Gazette , 11 MARCH 2015 TABLE OF.

3 Principles..7 Inclusion of Journal Titles on the Approved lists8 Reporting Procedures11 Guidelines for the Procedures14 Peer Review and research Conference ..17 Inclusion of Conference Proceedings on approved lists19 Reporting Procedures20 Guidelines for the Auditors20 Peer Processes and Procedures for the Submissions and ..242 This Gazette is also available free online at , 11 MAART 2015No. document, titled research Outputs policy (2015), outlines the criteriafor themeasurement and evaluation of research outputs of public higher education institutions(HEI s).The research Outputs policy (2015) replaces the policy for Measurement of ResearchOutputs of Public Higher Education Institutions (2003), in its line with the White Paper 3, a Programme for the Transformation of Higher Education(1997) and the White Paper for Post-School Education and Training (2013) which outlines a"single co-ordinated higher education system" and "building an expanded, effective andintegrated post-school system", respectively.

4 This policy applies to all public higher development of this policy was driven by the imperatives for transformation ofthe higher education system contained in White Paper 3, a Programme for theTransformation of Higher Education (1997), the National Plan for HigherEducation (2001) and the White Paper for Post-School Education and Training(2013).As part of the strategic objective envisioned by the National Plan for HigherEducation, this policy aims "to sustain current research strengths and to promote thekinds of research and other knowledge outputs requiredto meet nationaldevelopment needs" (Strategic Objective: Section 5, National Plan for HigherEducation).3 This Gazette is also available free online at 38552 Government Gazette , 11 MARCH 2015 Section of the White Paper for Post-School Education and Training (2013)states that "the focus of policy must be on growing research and innovation,improving the quality of research , ensuring coherence of the policy frameworksguiding these areas across the higher education and research communities andstrengthening particular areas identified as important for national development".

5 Purpose of this policy is to encourage research productivity by rewardingquality research output at public higher education institutions. The policy is notintended to measure all output, but to enhance productivity by recognising themajor types of research output produced by higher education institutions and furtheruse appropriate proxies to determine the quality of such a general rule, research output emanating from commissioned research orcontracts paid by contracting organisationswillnot be subsidised by the purpose of this policy , research output is defined as textual output whereresearch is understood as original, systematic investigation undertaken in order togain new knowledge and understanding. Peer review of the researchisafundamental prerequisite of all recognised outputs and is the mechanism of ensuringand thus enhancing Review is understood to be the pre-publication refereeing or evaluation ofcomplete manuscripts by independent experts in the field in order to ensure qualityand determine whether manuscripts are publishable or not.

6 Additional proxies todetermine quality, such as bibliometric data, discipline specific panels of expertsand post-publication reviews may in future be utilised by the policy takes into consideration the changing modes of disseminating researchand research output, such as electronic publications, and outlines processes andprocedures that are appropriate to the purpose and commensurate with best4 This Gazette is also available free online at , 11 MAART 2015No. 385527practices. research outputs published electronically may be recognised if thepublications meet the specified criteria outlined in this the purposes of subsidy, the policy recognises research in journals, books andpublished conference proceedings which meet the specified criteria outlined in thispolicy. The focus of subsidyison 'scholarly publishing' which referstopublications by scholars (academics and experts) for a niche market consistingmainly of academics and researchers (not normally students).

7 policy does not support differentiation within types of output, for instance, alljournal outputs receive the same level of subsidy irrespective of whether they arepublished internationally or locally. In future, however, the Department mayconsider introduction of such measures as 'high' or 'low' impact journals; citationindexes or other relevant and appropriate quality measurements after due andextensive consultative process with the education institutions may only claim once for each subsidisable researchoutput. Institutions must claim the outputs of the preceding year (n-1) in the currentreporting year (n). policy serves as a tool for the distribution of research subsidy to public highereducation institutions in South Africa. The Department subsidises institutions andnot individual authors or academics.

8 Institutions should be cautious of directlyincentivising individual authors as this practice is promoting perverse behaviour insome subsidy for research output follows the institutional affiliation of the authors,therefore, assumes that thisis where research was carried out. The claiminginstitution accrues full subsidy if all the authors are affiliated to it. In the case where5 This Gazette is also available free online at 38552 Government Gazette , 11 MARCH 2015authors are affiliated with two or more public higher education institutions, thesubsidy is shared between the claiming institutions. This principle does not takeregard of the order of authorship or proportions of their contributions in thepublication being claimed for authors are defined as academic or research staff and research contact address reflected on the research output publication of such authorsmust be the address of the claiming institution as opposed to private address.

9 If thepublication does not make reference to the affiliation of the claiming author orinstitution, a letter from Human Resources Department of the claiming institution,endorsed by the DVC or Executive Director of research is required. In the casewhere such author has since left the institution for another or elsewhere, the lettershould state this fact prior the claim. The claiming institution should have clarifiedand settled the issue of legitimate claimant with the new institution/employer of the case of visiting scholars or fellows and retired academics from the claiminginstitution, a letter from the DVC/Executive Director of research confirming thatthe individual'saffiliationto theinstitution(at the time the research wasconducted), should be Department does not subsidise all research outputs, but only publications in theform of approved books; recognised accredited journal articles and approvedpublished conference policy aims to support and encourage scholarship.

10 Institutions and academicsmust remember the importance of research integrity when submitting their claims andare urged to focus on quality research and not maximum accrual of subsidy Gazette is also available free online at , 11 MAART 2015No. integrity of scholarship should also be taken into consideration when recyclingpreviously published work and dividing research outcomes between , when moving between institutions, author affiliation should reflect theinstitution where research was conducted, supported and , when submitting claims, institutions must ensure that the correct numberof units is Department may consider punitive measures (such as the docking of units)against an institution which persistently makes incorrect claims that compromise theintegrity of scholarship or research .